Investment Advisor-October 2009

Issue Gallery ›

  • Fiduciary Scorecard

    Mike Patton

    As part of the screening process of mutual funds that I might use for my clients, I decided early in 2009 to search for global...

  • Insurance Update: Coverage Options Expand

    Marlene Y. Satter

    In the midst of all the troubling news about insurance and insurance companies, there's a ray of sunshine: disability insurance is no longer playing hard...

  • Asset Allocation

    Staff Writer

    Behind the Numbers, with David Kelly In his latest market bulletin, issued on September 8, JPMorgan Funds' chief market strategist takes a look at the investment...

  • Editor's Note: It's All Our Soil

    James J. Green

    Soon after the battle of Gettysburg, President Abraham Lincoln wrote to the commander of the victorious Union Army, George Meade, inquiring whether he was able...

  • The ETF Advisor: Real Estate ETFs

    Vaughan Scully

    With the housing market a mess, credit tight, and default rates for commercial mortgages growing by the week, it's hard to get excited about real...

  • Getting Estate Planning Help

    James J. Green

    The next few years will be a challenging time for advisors to stay current in creating, monitoring, and modifying clients' estate plans. Trusts, tax, and...

  • Consider These

    Bob Keane

    In addition to thinking about using grantor retained annuity trusts (GRATs) for clients in the current atmosphere to help preserve wealth, the California Society of...

  • Fidelity Cuts Costs on Technology, Trading

    James J. Green

    Fidelity Institutional announced September 10 a range of price cuts and time-bounded fee waivers for advisors who custody client assets at Fidelity. Acknowledging that the...

  • A Recession Silver Lining

    Bob Keane

    For estate planning these days, "the low-interest-rate environment offers incredible advantages," observes Ben Ledyard, director of wealth strategies for Boston-based Silver Bridge Advisors who leads...

  • Past and Future at Schwab

    James J. Green

    At a somewhat subdued Schwab Impact 2009 conference in San Diego in the middle of September, advisors who custody with Schwab Advisor Services listened to...

  • Who's Giving, and How, and Why?

    James J. Green

    If you're working with clients and want to encourage charitable giving, whom should you talk to, and how? "There is some limited anecdotal evidence that...

  • The Multilife Market

    Marlene Y. Satter

    John Ryan of Ryan Insurance Strategy Consultants in Greenwood Village, Colorado, says that a big marketing emphasis these days in disability insurance is multilife sales....

  • Concerning Culture and Control

    Mark Tibergien

    In a growing advisory practice, particularly one with more than one office, span of control becomes another big challenge. Cultural breaks often occur when satellite...

  • No Work Allowed!

    Thomas D. Giachetti

    The use of furloughs is increasingly popular throughout many industries, but when employees are furloughed, the employer must make it clear that the employee must...

  • Green Energy Gets Green Light

    Bob Keane

    The release of the first round of funding from the Obama Administration's stimulus law--the American Recovery and Reinvestment Act--to a program that provides cash assistance...

  • The Scope of the Problem

    James J. Green

    Speaking at the Schwab Impact 2009 conference in San Diego in mid-September, tax and estate planning attorney John Scroggin first poked fun at his profession,...

  • Catching Up With: Bill Baldwin

    James J. Green

    The fiduciary issue is a hot topic among many advisors these days, but at the National Association of Personal Financial Advisors, embracing a fiduciary standard...

  • Retirement Planning: Obama's Retirement Plan

    Melanie Waddell

    As the Obama Administration moves full steam ahead with healthcare reform, the Administration is also bent on helping more Americans with another pressing issue: saving...

  • B/Ds Warned on Recruiting

    Melanie Waddell

    SEC Chairman Mary Schapiro sent a letter to broker/dealer CEOs on August 31 reminding them of their supervisory obligations under federal securities laws after recent...

  • GroupThink

    Staff Writer

    ? Charles Moran, JD, CFP, is the new chair-elect of the Certified Financial Planner Board of Standards' Board. He will begin his duties on January...

  • Upgrades

    Staff Writer

    CRM Software announced September 9 what it called major enhancements to Junxure, its CRM and office management software, including Junxure 8, a complete update to...

  • SEC Criticized for Madoff

    Melanie Waddell

    Congress wasted little time in taking SEC officials to task after the securities watchdog's inspector general released September 2 a scathing report on the SEC's...

  • Forget Chicken Little

    James J. Green

    What's the current state of philanthropy? Eileen Heisman, CEO of National Philanthropic Trust, notes that "when the market was high and we didn't know...

  • One True Thing

    Mike Patton

    What motivates a client to hire a particular advisor? What separates one advisor from the next? These may be two of the more important questions...

  • Mutual Fund Spotlight: Firm Foundation

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    A manager who has consistently delivered above average returns to investors in one of the best performing stock mutual funds on the market (the FBR...

  • Expert's Corner: Look Before You Lay Off

    Thomas D. Giachetti

    In these tough economic times, many employers need to significantly cut costs and overhead to continue to survive. Some are considering layoffs, while others are...

  • Formulas for Success: The Aftermath

    Mark Tibergien

    Granted, it's a little early to judge the lasting impact of the 2008 market cataclysm on the advisory business, but celebrating survival after this disaster--and...

  • Give and Take

    Olivia Mellan

    Giving to others usually suggests that donors feel they have enough for their own needs. But as bonuses, raises, and jobs themselves have disappeared and...

  • The Green Advisor: Green Hedge

    Bob Keane

    For some people the terms "green" and "investing" are as diametrically opposed as Democrat and Republican or oil and water. Green denotes tree-hugging hippies and...

  • The Fast Track: An Odd Couple

    Angie Herbers

    These days, many Baby Boom advisors are still interested in selling their practices, but with shrunken assets under management and depressed practice values--not to mention...

  • The Affluentialist: Beyond the Numbers

    Lewis Schiff

    The advisor had worked for a few months with the highly successful client who owned a wholesale distribution company, carefully noting his goals, family concerns,...

  • B/D Briefing: Conversion Time

    James J. Green

    One of the pleasures of being President is that your influence on Americans doesn't end with your term(s). That's certainly the case with George W....

  • Clark at Large: The Dog That Didn't Bark

    Bob Clark, Bob Clark

    The following exchange comes from "Silver Blaze" by Sir Arthur Conan Doyle, between Sherlock Holmes and Inspector Gregory: "Is there any other point to which...

  • Not Quite So Risky Business

    Chris Ryon

    One of the investment advisor's major tasks is to help manage risk for clients, but if your clients are invested in municipal bonds, you'd better...

  • B/D News

    Melanie Waddell

    Gary Gensler, chairman of the Commodity Futures Trading Commission (CFTC), said during the CFTC's joint meetings with the SEC in early September (to discuss how...

  • More Challenges for Target Date Funds

    Elizabeth D. Festa

    Target-date mutual funds, once the darling of the industry, need lots of improvement when it comes to better practices by managers and fund companies, from...

  • Venture Populist: The Private Venture Test

    Jeff Joseph

    I am no stranger to the independent RIA universe. In addition to being a former private wealth manager, my professional career has been largely devoted...

  • Beyond the Plan

    Mike Patton

    I spend considerable time and effort in constructing a comprehensive financial plan, but it isn't meant to be a static document that only collects dust...

  • About the Manager

    Savita Iyer-Ahrestani, Savita Iyer-Ahrestani

    Charles "Chuck" Akre has been in the securities business since 1968. He previously held positions as shareholder, director, CEO of the asset management division, and...

  • Retirement News

    Melanie Waddell

    The IRS is expected to announce 2010 retirement plan limits on October 15, 2009, the date the Bureau of Labor Statistics releases the September CPI-U....

  • Changes

    Staff Writer

    ? Benjamin Ledyard, a veteran wealth advisor and former managing director of the Wilmington Trust Company, has joined Silver Bridge Advisors. Ledyard will serve as...

  • Don't Hire Yourself

    Angie Herbers

    When hiring to grow their firm or adding a partner, most older (and typically entrepreneurial) advisors make the mistake of trying to hire younger advisors...

  • More on Migration

    James J. Green

    The latest contribution on the migration of brokers arrives in the form of a Cerulli Associates report--Advisor Migration--which estimates that $800 billion will be moving...

  • Wealth Matters

    Melanie Waddell, Bob Keane

    While the outcomes of the healthcare and financial services reform debates now in high gear in Washington will have pivotal effects on advisors this year...

ThinkAdvisor Daily Wire

Sign Up Today and Never Miss Another Story.

As part of your digital membership, you can sign up for an unlimited number of a wide range of complimentary newsletters. Visit your My Account page to make your selections. Get the timely legal news and critical analysis you cannot afford to miss. Tailored just for you. In your inbox. Every day.

Copyright © 2018 ALM Media Properties, LLC. All Rights Reserved.